UNFCCC ITL Administrator. Standard Independent Assessment Report Assessment Report Part 2 - Substance

Transcription

1 UNFCCC ITL Administrator Standard Independent Assessment Report Assessment Report Part 2 - Substance Reference: IAR/2016/RU/2/1 Version number: 1.0 State: Final Prepared by: R. Bothe Palisoc UNFCCC Date: 02/02/2017 Approved by: M. Pieters UNFCCC Circulation list Name/Role Organization Info/Action R. Bothe Palisoc UNFCCC Info M. Pieters UNFCCC Info N. Uledova Russian Federation Registry Action Document change record Version Date Description /11/ /12/ /02/2017 Initial draft Update Accounting of Kyoto Protocol units Final report SIAR Part 2 Russian Federation v0.1 1 P a g e

2 Summary Ref Nr Description Value Comments P1.0.1 Party name Russian Federation P1.0.2 Reporting period 2016 P1.0.3 Submission under review Files submitted: - [SEF] rus-2016-sef-cp oct16.zip CP & 2015 not available - [NIR] RUS-NIR-2016_vol1 RUS-NIR-2016_vol2 - [REPORTS] R2-R5 not available - [RESPONSE] not available Information from the ITL Administrator: - [SEFCR] Not available -[RRITL] ITL R2-R5 RITL2_RU_2015 RITL3_RU_2015 RITL4_RU_2015 RITL5_RU_2015 P1.0.4 Previous annual review report reference FCCC/ARR/2014/RUS (05/06/3015) 2 P a g e

3 Table of Contents 1. Introduction Overall assessment Summary of findings Identification of Problems Identification of Significant Changes Recommendations Previous Expert Review Team recommendations Recommendations to address identified problems P a g e

4 1. Introduction The SIAR Part 2 report assesses the substance of a Party s annual submission with regard to its national registry. Each section contains questions related to the specific items to be assessed Overall assessment Ref Nr Requirement Assessment P2.1.1 Is the information submitted by Party, in relation to its national registry, complete? [ ] Yes [ x ] No P1.2.2 P2.1.2 Problem found with Party s national registry? [ ] Yes [ x ] No P2.1.3 Any unresolved problem with Party s national registry? [ ] Yes [ x ] No P2.1.4 Problems identified with the significant changes to the Party s national registry? [ ] Yes [ x ] No P2.1.5 National registry related recommendations from previous annual review were fully addressed? [ x ] Yes [ ] No P2.1.6 Is there any recommendation that needs to be addressed by the Party? [ x ] Yes [ ] No P P a g e

5 1.2. Summary of findings Ref Nr P2.2.1 Summary of findings The information on Kyoto Protocol units has been reported in accordance with section I.E of the annex to decision 15/CMP.1 and is accurate. The national registry partially fulfilled requirements related to its reporting and accounting of information on Kyoto Protocol units and fulfilled all requirements related to transaction procedures, conformance to the technical standards, security, data integrity, and recovery measures. Information on the accounting of Kyoto units has been prepared and reported in accordance with section I E of the annex to decision 15/CMP.1, and reported in accordance with decision 14/CMP.1 using the SEF tables. However, the Party did not report information on 2014 and 2015 CP2 transactions. The SIAR assessor recommends that the Party includes 2014 and 2015 CP2 SEFs in its next annual submission. Information on the accounting of Kyoto units has been prepared and reported in accordance with section I.E of the annex to decision 15/CMP.1, and reported in accordance with decision 14/CMP.1 using the SEF tables. The SIAR assessor finds that the national registry performed the functions set out in the annex to decision 13/CMP.1 and the annex to decision 5/CMP.1, and adhered to the technical standards for data exchange between registry systems in accordance with relevant Conference of the Parties serving as the meeting of the Parties (CMP) to the Kyoto Protocol decisions. Party has reported its commitment period reserve in its 2014 annual submission. The national registry has fulfilled all requirements regarding the public availability of information in accordance with section II.E of the annex to decision 13/CMP.1. Recommendations The SIAR assessor recommends that the party includes 2014 and 2015 CP2 SEFs in its next annual submission consistent with decision 3/CMP.11, paragraph 14: Also decides that a Party included in Annex I without a quantified emission limitation or reduction commitment inscribed in the third column of Annex B shall continue to provide relevant information on its national registry, or changes thereto, including information on the units in its registry, by submitting the standard electronic format tables in conjunction with its annual inventory submission for the second commitment period, in accordance with decisions 13/CMP.1 and 15/CMP.1 and annex I to this decision, if its registry is connected to the international transaction log at any time during the relevant calendar year 5 P a g e

6 2. Identification of Problems The purpose of this section is to identify any problems with the national registry based on the Party s annual submission and transaction log records that may affect the performance of the functions of the national registry pursuant to paragraph 88 of the annex to decision 22/CMP.1. P2.2.2 P2.2.3 P2.2.4 Ref Nr Requirement Assessment Comment 22/CMP.1 paragraph 88.(a) The information is complete and submitted in accordance with section I.E of the annex to decision 15/CMP.1 and relevant decisions of the COP/MOP; 22/CMP.1 paragraph 88.(b) The information relating to issuance, cancellations, retirement, transfers, acquisitions, replacement and carry-over is consistent with information contained in the national registry of the Party concerned and with the records of the transactions log; 22/CMP.1 paragraph 88.(c) The information relating to transfers and acquisitions between national registries is consistent with the information contained in the national registry of the Party concerned and with the records of the transaction log, and with information reported by the other Parties involved in the transactions; 22/CMP.1 paragraph 88.(d) The information relating to acquisitions of CERs, tcers, and lcers from the CDM registry is consistent with the information contained in the national registry of the Party concerned and with the records of the transaction log, and with the clean development mechanism (CDM) registry; Assessed in SIAR Part 1. Kept here for completeness Problem Identified? [ x ] Yes [ ] No Problem Identified? [ x ] Yes [ ] No Problem Identified? [ x ] Yes [ ] No Party submitted a CP1 SEF which is consistent with the ITL records. The SIAR assessor recommends that the party includes 2014 and 2015 CP2 SEFs in its next annual submission. Party submitted a CP1 SEF which is consistent with the ITL records. The SIAR assessor recommends that the party includes 2014 and 2015 CP2 SEFs in its next annual submission. Party submitted a CP1 SEF which is consistent with the ITL records. The SIAR assessor recommends that the party includes 2014 and 2015 CP2 SEFs in its next annual submission. 6 P a g e

7 P2.2.5 P2.2.6 P2.2.7 P2.2.8 P2.2.9 Ref Nr Requirement Assessment Comment 22/CMP.1 paragraph 88.(e) ERUs, CERs, AAUs and RMUs have been issued, acquired, transferred, cancelled, retired, or carried over to the subsequent or from the previous commitment period in accordance with the annex to decision 13/CMP.1; 22/CMP.1 paragraph 88.(f) tcers and lcers have been issued, acquired, transferred, cancelled, retired and replaced, in accordance with the annex to decision 13/CMP.1 and the annex to decision 5/CMP.1; 22/CMP.1 paragraph 88.(g) The information reported under paragraph 11 (a) of section I.E. in the annex to decision 15/CMP.1 on the quantities of units in accounts at the beginning of the year is consistent with information submitted the previous year, taking into account any corrections made to such information, on the quantities of units in accounts at the end of the previous year; 22/CMP.1 paragraph 88.(h) The required level of the commitment period reserve, as reported, is calculated in accordance with paragraph 6 of the annex to decision 18/CP.7; 22/CMP.1 paragraph 88.(i) The assigned amount is calculated to avoid double accounting in accordance with paragraph 9 of the annex to decision 16/CMP.1; Problem Identified? [ x ] Yes [ ] No Problem Identified? [ x ] Yes [ ] No Problem Identified? [ x ] Yes [ ] No Only assessed by the Expert Review Team. Kept here for completeness Only assessed by the Expert Review Team. Kept here for completeness Party submitted a CP1 SEF which is consistent with the ITL records. The SIAR assessor recommends that the party includes 2014 and 2015 CP2 SEFs in its next annual submission. Party submitted a CP1 SEF which is consistent with the ITL records. The SIAR assessor recommends that the party includes 2014 and 2015 CP2 SEFs in its next annual submission. Party submitted a CP1 SEF which is consistent with the ITL records. The SIAR assessor recommends that the party includes 2014 and 2015 CP2 SEFs in its next annual submission. 7 P a g e

8 Repeat for each discrepancy type (include Type Number) P Ref Nr Requirement Assessment Comment P P P P P /CMP.1 paragraph 88.(j) A discrepancy has been identified by the transaction log relating to transactions initiated by the Party, and if so the expert review team shall: 22/CMP.1 paragraph 88.(j)(i) Verify that the discrepancy has occurred and been correctly identified by the transaction log; 22/CMP.1 paragraph 88.(j)(ii) Assess whether the same type of discrepancy has occurred previously for that Party; 22/CMP.1 paragraph 88.(j)(iii) Assess whether the transaction was completed or terminated; 22/CMP.1 paragraph 88.(j)(iv) Has the Party corrected the problem that caused the discrepancy? 22/CMP.1 paragraph 88.(j)(v) Assess whether the problem that caused the discrepancy relates to the capacity of the national registry to ensure the accurate accounting of Kyoto Protocol units, issuance, holding, transfer, acquisition, cancellation and retirement of ERUs, CERs, tcers, lcers, AAUs and RMUs, the replacement of tcers and lcers, and the carryover of ERUs, CERs and AAUs Has the discrepancy been identified by the transaction log? [ ] Yes [ x ] No Has the discrepancy been identified by the transaction log? Has the same type of discrepancy occurred previously for that Party? Was the transaction completed or terminated? Problem that caused the discrepancy corrected? Discrepancy relates to the capacity of the national registry to ensure the accurate accounting? No discrepancies occurred for the Party. No discrepancies occurred for the Party. No discrepancies occurred for the Party. No discrepancies occurred for the Party. No discrepancies occurred for the Party. No discrepancies occurred for the Party. 8 P a g e

9 Repeat for each non-replacement type (incl Type number P Ref Nr Requirement Assessment Comment P P P P P /CMP.1 paragraph 88.(k) Any record of non-replacement has been sent to the Party by the transaction log in relation to tcers or lcers held by the Party, and if so the expert review team shall: 22/CMP.1 paragraph 88.(k)(i) Verify that the non-replacement has occurred and been correctly identified by the transaction log; 22/CMP.1 paragraph 88.(k)(ii) Assess whether non-replacement has occurred previously for that Party; 22/CMP.1 paragraph 88.(k)(iii) Assess whether the replacement was subsequently undertaken; 22/CMP.1 paragraph 88.(k)(iv) Examine the cause of the non-replacement and whether the Party has corrected the problem that caused the non-replacement; 22/CMP.1 paragraph 88.(k)(v) Assess whether the problem that caused the nonreplacement relates to the capacity of the national registry to ensure the accurate accounting of Kyoto Protocol units, holding, transfer, acquisition, cancellation, and retirement of ERUs, CERs, tcers, lcers, AAUs and RMUs, and the replacement of tcers and lcers, and if so, initiate a thorough review of the registry system in accordance with part V of these guidelines. Any tcers or lcers subject to non-replacement held by Party? [ ] Yes [ x ] No Has the transaction log identified the nonreplacement? Has this type of nonreplacement previously occurred for that Party? Was the replacement subsequently undertaken? Has the Party corrected the problem that caused the nonreplacement? Non-replacement relates to the capacity of the national registry to ensure the accurate accounting? No non-replacements occurred for the Party. No non-replacements occurred for the Party. No non-replacements occurred for the Party. No non-replacements occurred for the Party. No non-replacements occurred for the Party. No non-replacements occurred for the Party. 9 P a g e

10 3. Identification of Significant Changes The purpose of this section is to identify any significant changes in the national registry reported by the Party that may affect the performance of the functions contained in the annex to decision 13/CMP.1, the annex to decision 15/CMP.1 and the adherence to the technical standards for data exchange between registry systems in accordance with relevant COP/MOP decisions. If a change to a Party s national registry has been identified under paragraph 22 of the annex to decision 15/CMP.1 then information relating to this change should be submitted by the Party in accordance with paragraph 32 of the annex to decision 15/CMP.1. This section assesses the submitted changes reported by Party in accordance with paragraph 32 of decision 15/CMP.1, and the further guidance elaborated in the Independent Assessment Report common operational procedure. Ref Nr P2.3.1 P2.3.2 P2.3.3 Requirement 15/CMP.1 paragraph 32.(a) The name and contact information of the registry administrator designated by the Party to maintain the national registry 15/CMP.1 paragraph 32.(b) The names of the other Parties with which the Party cooperates by maintaining their national registries in a consolidated system 15/CMP.1 paragraph 32.(c) A description of the database structure and capacity of the national registry. Has the Party reported a change? Not a significant change, left here for completeness Problem Identified with the Change? Comment [ ] Yes [ x ] No [ ] Yes [ x ] No No changes occurred for the Party for this item. [ ] Yes [ x ] No [ ] Yes [ x ] No No changes occurred for the Party for this item. 10 P a g e

11 Ref Nr P2.3.4 P2.3.5 P2.3.6 Requirement 15/CMP.1 paragraph 32.(d) A description of how the national registry conforms to the technical standards for data exchange between registry systems for the purpose of ensuring the accurate, transparent and efficient exchange of data between national registries, the clean development mechanism registry and the transaction log (decision 19/CP.7, paragraph 1) 15/CMP.1 paragraph 32.(e) A description of the procedures employed in the national registry to minimize discrepancies in the issuance, transfer, acquisition, cancellation and retirement of ERUs, CERs, tcers, lcers, AAUs and/or RMUs, and replacement of tcers and lcers, and of the steps taken to terminate transactions where a discrepancy is notified and to correct problems in the event of a failure to terminate the transactions 15/CMP.1 paragraph 32.(f) An overview of security measures employed in the national registry to prevent unauthorized manipulations and to prevent operator error and of how these measures are kept up to date Has the Party reported a change? Problem Identified with the Change? Comment [ ] Yes [ x ] No [ ] Yes [ x ] No No changes occurred for the Party for this item. [ ] Yes [ x ] No [ ] Yes [ x ] No No changes occurred for the Party for this item. [ ] Yes [ x ] No [ ] Yes [ x ] No No changes occurred for the Party for this item. 11 P a g e

12 Ref Nr P2.3.7 P2.3.8 P2.3.9 P Requirement 15/CMP.1 paragraph 32.(g) A list of the information publicly accessible by means of the user interface to the national registry 15/CMP.1 paragraph 32.(h) The Internet address of the interface to its national registry 15/CMP.1 paragraph 32.(i) A description of measures taken to safeguard, maintain and recover data in order to ensure the integrity of data storage and the recovery of registry services in the event of a disaster 15/CMP.1 paragraph 32.(j) The results of any test procedures that might be available or developed with the aim of testing the performance, procedures and security measures of the national registry undertaken pursuant to the provisions of decision 19/CP.7 relating to the technical standards for data exchange between registry systems. Has the Party reported a change? Not a significant change, left here for completeness Not a significant change, left here for completeness Problem Identified with the Change? Comment [ ] Yes [ x ] No [ ] Yes [ x ] No No changes occurred for the Party for this item. [ ] Yes [ x ] No [ ] Yes [ x ] No No changes occurred for the Party for this item. 12 P a g e

13 4. Recommendations 4.1. Previous Expert Review Team recommendations This section assesses Party s response to the previous annual review recommendations. Has Party Ref Nr Recommendation from previous Annual Review report (with ref) acted on recommendation? P NA [ ] Yes [ ] No P [ ] Yes [ ] No P [ ] Yes [ ] No P2.4.1.x [ ] Yes [ ] No Comment 4.2. Recommendations to address identified problems If a problem has been identified earlier in section 2 and 3 or a previous recommendation listed in section 4.1 has not been taken into account, then this section of the report lists a recommendation for each problem to be brought to the attention to the Expert Review Team. Ref Nr Recommendation Ref Recommendation description Comment P P The Party did not include 2014 and 2015 CP2 SEFs in its next annual submission, consistent with decision 3/CMP.11, paragraph 14: Also decides that a Party included in Annex I without a quantified emission limitation or reduction commitment inscribed in the third column of Annex B shall continue to provide relevant information on its national registry, or changes thereto, including information on the units in its registry, by submitting the standard electronic format tables in conjunction with its annual inventory submission for the second commitment period, in accordance with decisions 13/CMP.1 and 15/CMP.1 and annex I to this decision, if its registry is connected to the international transaction log at any time during The SIAR assessor recommends that the party includes 2014 and 2015 CP2 SEFs in its next annual submission. 13 P a g e

14 the relevant calendar year 14 P a g e